ALLIED JOINT HOST NATION SUPPORT DOCTRINE & PROCEDURES AJP-4.5 (A)
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Chapter 1 DEU, USA 2 DEU, USA 3 4 ANNEX A ANNEX B ANNEX C ANNEX D ANNEX E ANNEX F ANNEX G GRC ANNEX H ANNEX I ANNEX J Record of Reservations by Nations - iii -
RECORD OF RESERVATIONS NATION DEU POL SPECIFIC RESERVATIONS DEU in the role as Host Nation will advise all Sending Nations and the NATO Commander of its capability to provide HNS against specific requirements. Furthermore, DEU will provide information on HNS to support the HNS planning process. This does not mean that DEU will provide and continuously update and elaborate a generic HNS Capability Catalogue or Database. Annex G Part Two Financial Guidelines para. 2.1.d Medical Financial Arrangements - There is one reservation concerning the statement: "Treatment and consultations provided by unit or garrison medical services and evacuation by military transport, including helicopters, will be free of charge". Due to the fact that the whole of the Polish military personnel is insured by the National Health Fund (NHF) and unit or garrison medical services work as public healthcare institutions under contract to NHF treatment and consultations will be provided for SN military personnel on the same basis as for HN military personnel. The rules and reimbursement procedures will always be detailed in separate Technical Arrangements. USA a. USA does not agree with the wording incorporated in several chapters and annexes regarding the legal character of prospective MOUs and Technical Arrangements, which implies an obligation without express acceptance of the USA. USA will not be obligated by any MOU or subsequent Technical Arrangement, agreed to by NATO unless the USA expressly has accepted the obligation in writing after review of the MOU or subsequent Technical Arrangement. b. The document speaks to the host nation support capability catalogue in the following paras: 1-10b, 1-10g, 1-30 and the development of the catalogue in para 2-4c. USA does not agree to develop a separate catalogue. USA maintains an active computer database of military and civilian infrastructure capabilities to support US forces as well as potential sending nations. This database is dynamic and very large, for practicality it would prove infeasible to publish such a document. If USA Host Nation Support is required for the deployment to, or through the nation, the information contained in this database can be made available with the required specificity to support logistics planning efforts. - iv -
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TABLE OF CONTENTS Page FOREWORD XI - XII CHAPTER 1: THE ALLIANCE S CONCEPT OF HOST NATION SUPPORT Section 1 Principles Aim 1-1 NATO Host Nation Support Concept 1-1 Introduction 1-1 Definition 1-1 Purpose 1-2 Scope & applicability 1-2 Host Nation Support principles 1-2 Description of the allied concept for Host Nation Support 1-4 Section 2 - General Guidance for Host Nation Support Planning and Implementation Background 1-5 Coordination of the Planning Process 1-5 Financial Aspects 1-6 Contracting 1-6 Cooperative approaches to Host Nation Support 1-7 Legal Aspects 1-7 Interrelationship between Host Nation Support Planning and the Operational Planning Processes 1-9 CHAPTER 2: RESPONSIBILITIES AND ASSOCIATED AUTHORITY Introduction 2-1 Responsibilities and Authority of the NATO Commander 2-1 Responsibilities and Authorities of the Supporting Nation(s) 2-2 Responsibilities and Authority of the Host Nation 2-3 - vii -
CHAPTER 3: THE HOST NATION SUPPORT PLANNING PROCESS Introduction 3-1 NATO Commander level in each stage 3-2 Detailed description of the 5 stages of the planning process Stage 1 - Submission of Host Nation Support request and Development of the Memorandum of Understanding MOU 3-2 Stage 2 - Development of the Concept of Requirements (COR) 3-5 Stage 3 - Development of the Technical Arrangement (TA)for provision of Host Nation Support 3-5 Stage 4 - Development of the Statement of Requirements (SOR) 3-7 Stage 5 - Development of the Joint Implementation Arrangement (JIA) 3-9 Changes to Support Plans 3-11 CHAPTER 4: IMPLEMENTATION Introduction 4-1 Organisation 4-1 NATO Organisation 4-1 Host Nation Organisation 4-2 Supporting Nation Organisation 4-2 Civil Military cooperation 4-2 Host Nation Support Reporting 4-3 Validation, Training and Exercise 4-3 ANNEXES Annex A: Terms and Definitions A- 1 Annex B: List of Abbreviations B- 1 Annex C: Example of Host Nation Support Request Letter C- 1 Annex D: Example of a Memorandum Of Understanding D- 1 Annex E: Example Note of Accession (NOA)/Statement of Intent (SOI) E- 1 Annex F: Example of a Concept of Requirements (COR) F- 1 Annex G: Example of a Host Nation Support Technical Arrangement G- 1 Annex H: Example of Statement of Requirements (SOR) H- 1 ANNEX I: Example of a Joint Implementation Arrangement (JIA) I- 1 ANNEX J: List Of Host Nation Support Related STANAGs And Publications J- 1 ANNEX K: List of Effective Pages K-1 - viii -
FOREWORD 1. This AJP provides Host Nation Support (HNS) guidance to those involved in support planning for operations and exercises where allied forces are planned to be located on, operating in or transiting through the territory of a Host Nation (HN). Partnership for Peace (PfP) nations are invited to follow this guidance when acting as a Host or Sending Nation (SN) in a NATO-led operation or exercise. The dynamic nature of HNS planning and implementation necessitates that the doctrine and procedures can be adapted to any Article 5 or non-article 5 situation and expanded with specific logistic arrangements/memoranda of Understanding (MOU) as required. 2. is at the second level in the joint doctrine hierarchy and supports, in particular, the principles and policies contained in MC 319/1, NATO Principles and Policies for Logistics, MC 334/1, NATO Principles and Policies for Host Nation Support, and the generic HNS guidance contained in AJP-4(A), Allied Joint Logistic Doctrine. The Working Group has drawn upon the experience gained from NATO s involvement in operations in the Balkans, the planning for contingency operations in Greece, Norway and Turkey, and exercises involving the emerging Combined Joint Task Force (CJTF) and Multinational Joint Logistic Centre (MJLC) concepts. 3. has been developed in a logical sequence which takes the reader from the overarching concept of HNS, through the various stages of planning, to the responsibilities and authorities and finally to implementation. It contains the following key features: Chapter 1 describes the Alliance's concept of HNS and general guidelines for HNS Planning. Chapter 2 outlines the responsibilities and authorities exercised by the HN, SN and NATO organizations. A good understanding of chapter 2 is essential, to gain the maximum benefit from the HNS planning process. Chapter 3 outlines the planning process and gives an explanation of the 5 stages of it. Chapter 4 finally covers the transition from planning to the practical realities of operational implementation. The annexes consist of: The definitions used in connection with HNS. Sample documents in draft form including a HNS Request Letter, a MOU, a Note of Accession/Statement of Intent, a Concept of Requirements, a Technical Arrangement (TA), a Statement of Requirements (SOR) and a Joint Implementation Arrangement (JIA). - ix -
A list of HNS-related STANAGs and publications. 4. is a living document and will need to be reviewed and updated as required by the Allied Command Transformation (ACT) with the support of the Allied Command Operation (ACO). As such, change proposals, amendments and other comments are welcome and should be forwarded to the Logistics Division of those two HQs. - x -
CHAPTER 1 THE ALLIANCE CONCEPT OF HOST NATION SUPPORT SECTION 1 - PRINCIPLES AIM 0101. The purpose of NATO s HNS concept is to provide effective support to the Joint Force Commander s operations and to achieve efficiencies and economies of scale through the best use of a host nation s available resources. This concept has been developed in response to the Alliance s New Strategic Concept, the MC Directive for Military Implementation of the Alliance. NATO HOST NATION SUPPORT CONCEPT 0102. The NATO HNS concept provides a flexible support framework to enable NATO s mobile and flexible multinational forces to deploy and be sustained through the provision of timely and effective support. Such support is dependent on cooperation and coordination between NATO and national authorities, the establishment of HNS arrangements based upon the best use of available host nation resources and a flexible but focused generic approach to the HNS planning. INTRODUCTION 0103. HNS is an important factor in any operational or exercise scenario. Within the current NATO environment, the need to achieve both efficiency and cost effectiveness is a key element in providing this support. Increasingly, by applying the concept of multinational joint logistics as outlined in AJP-4 (A), the overall costs for an exercise or operation can be reduced and greater support efficiencies achieved. Coordinated planning and the provision of HNS are key elements of this approach and it is therefore important that Host Nation Support Arrangements (HNSAs) are developed, as necessary. Not only can HNS reduce the amount of organic support that Sending Nations SN(s) need to deploy on operations, but coordinated planning and provision will ensure that visibility of SN(s) requirements and HN assets are addressed and that a cooperative approach to the use of such assets is fostered. The logistic planner will find that each situation will present different challenges and the information presented within this publication can be readily adapted to provide the solutions required for successful operations. 1-1
DEFINITION 0104. HNS as defined in MC 334/1 is civil and military assistance rendered in peace, emergencies, crisis, and conflict by a HN to allied forces and organisations, which are located on, operating in or transiting through the HN s territory. Arrangements concluded between appropriate authorities of HN(s) and SN(s) and/or NATO form the basis of such assistance. 0105. Other terms and definitions, which are applicable to this AJP, are listed at Annex A. PURPOSE 0106. The purpose of this AJP is to describe NATO s overall doctrine for HNS. It translates NATO s agreed HNS principles and policies into operational level doctrine and procedures in order to provide direction to NATO Military Authorities (NMA) and guidance to all NATO and PfP nations on HNS planning and execution, and to foster coordination and cooperation among the NMA and Nations. It emphasises the need for flexibility in HNS planning to meet the differing needs of contingency, crisis and exercise planning requirements in support of multinational operations and assist the Joint Force Commander (JFC) in the achievement of the mission. SCOPE & APPLICABILITY 0107. This AJP describes the procedures and responsibilities required for HNS between the HN, NATO formations and SN(s). HNSAs are developed with reference to existing Status of Forces Agreements (SOFA(s)) or other relevant agreements. 0108. The HNS process contributes to the logistics function within the Force and Operational Planning Process of NATO. The guidance provided in this document is equally applicable to Article 5 operations and non-article 5 Crisis Response Operations (CRO), and addresses the establishment of HNSAs for support of all operations or exercises. 0109. This document is applicable to NATO operations including those conducted in cooperation with other international organisations such as the United Nations (UN), the Organisation for Security and Cooperation in Europe (OSCE) and the European Union (EU). It is also applicable for non-nato nations participating in NATO-led operations. HOST NATION SUPPORT PRINCIPLES 0110. In order for the NATO Commander to execute his responsibilities for HNS efficiently, certain principles must be observed. These must be in line with the logistic principles established in AJP-4(A), Allied Joint Logistics Doctrine, and build upon the HNS principles presented in MC334/1, as well as reflect the experience gained in actual operations and exercises involving both Article 5 and non-article 5 scenarios. Incorporation of these principles into the planning for HNS will not guarantee success in 1-2
itself, but it will establish a solid foundation for constructive provision of a HNS plan. These principles are as follows: a. Responsibility. C-M(2001)44, NATO policy for Cooperation in Logistic, and MC 334/1 establish the principles of collective responsibility of Nations and NATO authorities for HNS across the spectrum of NATO led operations. The NATO Commander is responsible for identifying HNS requirements for his force, for establishing the HNS planning process in consultation with Nations, and for prioritising and coordinating the provision of HNS. However, each nation bears ultimate responsibility for ensuring the provision of support for its forces allocated to NATO, which can be achieved through the NATO coordinated HNS process. b. Provision. Nations must ensure individually or by collective arrangements, the provision of adequate resources to support their forces allocated to NATO during peace, emergencies, crisis and conflict. Non NATO Nations participating in NATO-led operations are encouraged to join into NATO coordinated HNSA. Furthermore, HNS is a fundamental supplement of support for deployed forces and should be provided by the HN to the greatest extent possible on the basis of national legislation, national priorities and the actual capabilities of the HN. In this regard each nation is encouraged to produce a national Capability Catalogue, listing HNS available to aid logistics planners. c. Authority. MC 334/1 provides the NATO Commander with the appropriate authorities for HNS planning, development and execution. However, this authority does not affect the rights of SN(s) to negotiate and conclude bilateral HNSA. Authority must be aligned with responsibility. The appropriate authorities and responsibilities should also apply to non-nato Commanders participating in a NATO-led operation. d. Cooperation. Cooperation among the HN, SN(s) and NATO authorities in the provision and use of HNS is essential. In this context, the aim of cooperation is not limited to eliminating competition for scarce resources, but also includes optimising the support that the HN may make available in order to facilitate mission accomplishment. Cooperation should also extend to International Organisation and non-governmental Organisations (IOs/NGOs), which may operate with or alongside NATO. e. Coordination. Coordination of HNS planning and execution between NATO and the national authorities is essential for reasons of operational effectiveness, efficiency and the avoidance of competition for resources. It must be carried out at appropriate levels and may include non-nato nations as well as IOs and NGO(s) where appropriate. This will require the appointment of national representatives or liaison officers to the NATO Commander or to other appropriate elements. 1-3
f. Economy. Planning and execution of HNS must reflect the most effective and economic use of resources available to fulfil the requirement. In order to ensure that HNS resources are used in the most effective and efficient manner possible to meet operational imperatives, NATO-coordinated HNS should be utilised to achieve economies of scale and improve the overall availability of support to the force. g. Visibility. Information concerning HNS in support of Allied Forces and organisations must be available to the appropriate NATO Commander and to SN(s). In addition to the HNS, that the NATO Commander coordinates, he must also be made aware of other committed HNS which may impact on the conduct of NATO led operations in order to prioritise the provision of HNS to his force when its availability is limited. In order for the NATO Commander to develop a clear and accurate picture of the HN s capability to provide HNS, HNs are encouraged to produce a national Capability Catalogue, listing HNS available to aid the NATO Commander in HNS planning. h. Reimbursement. Reimbursement for HNS through either national, shared multinational or common funding will be agreed between the HN and the SN(s) and/or NATO authorities as appropriate. Reimbursement procedures will be developed in accordance with the accepted principle that each party can obligate only itself, and no other. Moreover, HNs should apply costs standards fairly to all recipients for the services provided. DESCRIPTION OF THE ALLIED CONCEPT FOR HOST NATION SUPPORT 0111. HNS is a fundamental supplement to organic support and should be provided by the HNs to the maximum extent possible, on the basis of national legislation, national priorities, and the actual capabilities of the HN. The principles concerning HNS will be documented in an MOU negotiated and concluded between each HN and the Strategic Command (SC). The SN(s) will be encouraged to accede to these MOU as a condition of receiving HNS. The implementing terms governing the provision of HNS will be addressed in subordinate arrangements, which SN(s) may negotiate directly with the HN. 0112. While the appropriate SC always retains overall responsibility for HNS, a subordinate Commander may be designated specific responsibility for negotiating and concluding a MOU on behalf of the SC. The designated Commander is responsible for developing and concluding follow on HNSA, and for coordinating the provision of HNS. The designated Commander may be Joint Force Commander (JFC), or a Component Command (JFLCC, JFACC or JFMCC). Those NATO Commanders will normally be the designated for HNS planning for operations and exercises and/or to coordinate the provision of HNS during an operation or an exercise. 1-4
0113. Within NATO, the logistic (J-4) staff has the lead for HNS planning and the development of HNSA. In developing HNSA, it is essential that the logistic staff work closely with the legal, financial (J-8), CIMIC (J-9) and other relevant staffs internally, within HN and SN(s) and the relevant NATO Commander s HQ. The designated NATO Commander should establish a Joint HNS Steering Committee (JHNSSC) in conjunction with the HN wherever possible, to oversee the development of the Technical Arrangement (TA) and Joint Implementation Arrangements (JIAs) (see chapter 3). The HN and known and potential SN(s) should provide representatives to this JHNSSC. Logistic planners should remain abreast of the evolving operational plan, to ensure the HNS concept continues to fully support it. Logistic planners must also allocate and de-conflict available HNS resources in accordance with SN(s) Statement of Requirements (SORs). This, in turn, will lead to the production of the Joint Implementation Arrangements. Finally, once the operation commences, staffs must continue to monitor HNS to ensure arrangements are adhered to and to ensure that changing priorities are serviced. 0114. The nature of required HNS can be expected to differ considerably, according to the circumstances prompting the requirement. The foundational document outlining the basic principles governing the provision of HNS is normally an overarching MOU between the SC and the HN, to which SN(s) would eventually accede. However, for very minor exercises either a TA, a SOR, a JIA, or an appropriate NATO Standardisation Agreement (STANAG) may be used. A full list of useful STANAGS for HNS planning is at Annex J. SECTION 2 GENERAL GUIDANCE FOR HOST NATION SUPPORT PLANNING AND IMPLEMENTATION BACKGROUND 0115. HNS planning seeks to identify the requirements for HNS and the capabilities available to meet them and to put into place arrangements for the provision of HNS. The NATO Commander has an increased role and, in co-operation with the SN(s) and HN(s), is responsible for initiating and coordinating HNS planning and execution. COORDINATION OF THE PLANNING PROCESS 0116. Planning for HNS, whether for contingency planning or impending operations or exercises, is an interactive process that must proceed from a common understanding of the situation and the likely resources available. The planning process needs to be clearly co-ordinated to avoid unnecessary duplication of effort and to facilitate the accession of SN(s) to HNSA. Also, the requirement for a more strategic and streamlined approach to HNS planning necessitates strong co-ordination with the SC in the development of Standing HNS MOU to be used for all operations and exercises. 1-5
0117. To be effective, HNS planning must involve all levels of HQ(s) and all appropriate national representatives. When executed successfully, careful co-ordination will bring about harmonisation of effort and provide visibility within the planning process. The net effect of this will be the achievement of maximum economy, both in the allocation of time for planning and the allotment of resources. In addition, it will install a strong unity of effort within the planning process and staffs. 0118. Experience has highlighted the importance of the HN, SN(s) and NATO Commander respectively minimising the number of points of contact (POC) for HNS matters, particularly during the planning and early implementation stages. As a matter of principle, each participant should have a primary logistic POC for all HNS matters. The POC should have sufficient authority to mediate between all concerned and speak on behalf of their nation. FINANCIAL ASPECTS 0119. Nations remain ultimately responsible for sustaining both their forces assigned to the NATO Force Structure, and personnel assigned to NATO Command Structure elements in the Joint Operational Area (JOA). As such, NATO does not normally prefinance national costs nor relieve nations of their responsibilities. Where centralised support managed by the NATO Commander will be used, the prior approval of any consequent exceptional NATO pre-financing must first be obtained by the SC from the appropriate funding committee. 0120. HNS provided to NATO forces or SN(s) may be subject to reimbursement. The amount of reimbursement will depend on the national cost standards, which will be made available to NATO Commanders and/or SN(s). Where national cost standards have not been specified, the reimbursement procedures should be detailed in the appropriate HNSAs. In this regard, STANAG 2034 provides a guide for determining reimbursement requirements. The funding involved may be national, shared multinational or NATO common funding. Wherever possible, it is important to have the financial aspects agreed to before forces deploy. If formal agreement can t be concluded in due time, request for HNS should be specified to extend and detail possible using Annex A to STANAG 2034 or Annex H to AJP 4.5(A) to provide a basis for subsequent reimbursement for eligible expenses. 0121. The general financial principles applicable to an operation or exercise should be clarified in the HNS MOU, with detailed arrangements for reimbursement and cost sharing, including costing formulae, registered in the subordinate Technical Arrangement (TA) or Joint Implementation Arrangements (JIAs), as described in Chapter 3. 0122. The financing of operational infrastructure is normally decided by the NAC. SN(s) accession to an HNS MOU does not obligate the SN financially, nor does it imply any financial responsibility on the part of the HN for the creation or maintenance of infrastructure to support the operational plan (See Chapter 3). The TA or JIA(s) are the main vehicles for clarifying specific undertakings to comply with the detailed financial 1-6
arrangements. The NATO Commander should not underestimate the value of collective discussion of the TAs to ensure a co-ordinated approach is taken. The SN(s) will sign the JIA because it is a financially obligating document. CONTRACTING 0123. Different countries have different requirements for involvement in direct contracting. In some countries, the SN will be expected to use the services of the HN military authorities in arranging for local contracting. Obviously, where the HN military authorities have favourable contracting rates, it makes sense to request to use the same contract to meet the needs of the SN(s). However, it is important to establish the principle that the SNs forces will not be charged more than the HN s own Armed Forces before accepting such arrangements. For other countries, the SN and/or the NATO Commander will be authorized to contract directly with private sources within the HN. In these cases it is essential for the NATO Commander to establish a system that enables him to co-ordinate contracting and to avoid competition for scarce resources between the SN(s) and the civilian population. To summarise, the aim should be for the SN and/or NATO Commander to achieve a fair and reasonable price for the required goods and services, utilizing the rule of the market and available competition and/or HN arrangements where it is appropriate and efficient to do so. COOPERATIVE APPROACHES TO HOST NATION SUPPORT 0124. AJP-4 (A) stresses the need to utilise cooperative solutions to logistic support in order to reduce costs, achieve economies of scale, and a reduced logistics footprint. AJP-4.9 provides details on the various modes of multinational logistic support, including HNS. SNs are therefore encouraged to develop collective arrangements for nationally funded support provided to their forces by HNs. Further, operational circumstances, military considerations, and cost effectiveness may in some cases indicate that HNS could be best managed centrally by the NATO Commander. In such cases, SNs are encouraged to participate in centralised HNSA. LEGAL ASPECTS A. General Principles 0125. HNSA are a set of documents that reflect mutually agreed principles and procedures that are applicable to HNS. There are many legal considerations, both national and international, including the status of HNS MOU. For these reasons, legal advice is essential during all phases of HNSA development. 0126. As is the custom in modern international relations, a Status of Forces Agreement (SOFA) and bilateral agreements generally govern the relationship between a HN and a SN concerning the presence and activities of a foreign force in HN territory. a. The NATO and PfP SOFAs and supplementary agreements enable early resolution of HNS issues. Mission specific SOFAs are created for 1-7
situations involving nations where an existing SOFA is not in effect. These documents should be incorporated by reference into the HNS MOU and specific provisions inserted into the relevant HNSA. b. The Paris Protocol and the companion Further Additional (Headquarters) Protocol to the PfP SOFA, among other things, establish the Bi-SCs and subordinate Headquarters as legal entities in International Law and the domestic law of ratifying nations. These treaties are the source of legal competence permitting NATO Military Headquarters to undertake obligations, exercise rights and receive benefits. They also extend the SOFA status of personnel in national forces to the international force of an allied headquarters. Since operational sites set up by NATO are normally elements or detachments of a NATO military headquarters, the Headquarters Protocols are essential foundation documents for HNS to function properly and efficiently. B. Relevant NATO Legal Authority 0127. This section provides a brief description of the relevant documents that impact HNSAs. Development of HNSAs should not commence without reviewing the NATO/PfP SOFAs and Protocols. These agreements provide the baseline for many of the express and implied provisions contained within the HNS MOU and TA. The language contained within the agreements bind participants under certain conditions and a complete understanding of the relevance of these documents is imperative when drafting and negotiating HNSAs. a. NORTH ATLANTIC TREATY. The North Atlantic Treaty, signed in Washington D.C. on 4 April 1949, was created within the framework of Article 51 of the United Nations Charter. This fundamental agreement provides the legal and contractual framework for the Alliance to establish separate international military headquarters (IMHQ) in Europe and the United States. b. PARIS PROTOCOL. The Protocol on the Status of International Military Headquarters set up Pursuant to the North Atlantic Treaty defines the status and authority of NATO Headquarters and their personnel. This Agreement establishes the Strategic Commands legal rights and obligations and grants SHAPE its own juridical (legal) personality to enter into binding agreements with other nations, organisations or individuals. The Paris Protocol also grants the Headquarter the authority to acquire and dispose of property. Additionally, it provides for the exemption of taxes and duties on expenditures made in the interest of common defence. c. NATO STATUS OF FORCES AGREEMENT (NATO SOFA). The Agreement between the Parties to the North Atlantic Treaty Regarding the Status of their Forces (NATO SOFA), was signed in London on 1-8
19 June 1951, and entered into force on 23 August 1953. This Agreement determines the status of NATO forces and provides a uniform legal standard for treatment of forces serving or transiting through the territory of another member of the Alliance. Specifically, the NATO SOFA sets forth provisions for the resolution of jurisdictional issues and claims, customs, and importation matters within the Host Nation. d. PfP STATUS OF FORCES AGREEMENT (PfP SOFA). The Agreement among the States Parties to the North Atlantic Treaty and the other States participating in the Partnership for Peace Regarding the Status of their Forces, signed in Brussels on 10 January 1994, is the foundational agreement for Partner nations. This covenant incorporates the NATO SOFA by reference and integrates these same conditions and provisions. e. FURTHER ADDITIONAL PROTOCOL (FAP). The Further Additional Protocol to the Agreement among the States Parties to the North Atlantic Treaty and Other States participating in the Partnership for Peace regarding the Status of their Forces, dated 19 December 1997, extends the provisions contained in the Paris Protocol to Partner nations. f. SUPPLEMENTARY ARRANGEMENTS. Supplementary Arrangements are bilateral agreements between NATO Strategic Commands and the HN where an International Military Headquarters is located. This document derives from the principles set forth in the Paris Protocol for the establishment of such an IMHQ and provides specific guidance for the operation of an Allied Headquarters in the territory of a member nation. e. PFP TRANSIT AGREEMENTS. These agreements apply to the transit and temporary stationing of personnel necessary for the passage of forces through the territory of a PfP nation. The agreement should focus specifically on the transit of personnel, equipment, and goods through a territorial area and should not incorporate aspects of HNS into its provisions. It should incorporate by reference and relevant language provisions, the NATO and PfP SOFA, as well as the Paris Protocol. In the event HNS is necessary, a HNSA should be contemplated or incorporated by reference if already in existence. 0128. There may be other relevant arrangements between individual nations or the SC and a nation that impact forces operating in or transiting through foreign territory. Additionally, international confidence building agreements may influence NATO activities in a nation. Thus, it is imperative to become familiar with the various authorities that may affect an operation or exercise. Moreover, not all nations have signed and/or ratified either the PfP SOFA, the Paris Protocol or the Further Additional Protocol; therefore any HNSAs between nations must incorporate these documents or any relevant provisions into a MOU, bilateral or multilateral agreement prior to commencement of a NATO-led operation. 1-9
INTERRELATIONSHIP BETWEEN HOST NATION SUPPORT PLANNING AND THE OPERATIONAL PLANNING PROCESS 0129. Logistics planning is integral part (one of seven disciplines) of Defence planning. Defence planning in turn consists of two planning systems the Defence Planning Process (DPP) for NATO nations and the Partnership for Peace (PfP) Planning and Review Process (PARP) for PfP nations. While defence planning aims to ensure that NATO-led operations are supported by appropriate force structures and capabilities, operational planning aims at preparing NATO to execute those missions. Overall, logistic planning provides a significant input to both defence and operational planning which are described in detail in AJP-4(A). HNS planning, as an integral part of logistic planning, plays an important part in both defence and operational planning. 0130. In support of defence planning, HNS planning may be used to identify HNS capabilities that nations may make available to support NATO operations, thereby reducing the overall force structure requirement. HNS capabilities may be identified through the acceptance of NATO Force Goals (FG) or PARP Partnership Goals (PG), or by the development of HNS Capability Catalogues. Further, the development of Standing HNS MOU with NATO and PfP nations can be considered as supporting defence planning because it puts into place the political framework upon which follow on HNSA can later be developed to support operational planning. 0131. In support of operational planning, HNS planning identifies the HNS requirements for Contingency Operation Plans (COP), non Article 5 CRO or exercises, and seeks to secure support from the HNS to the maximum extent possible. 0132. Long term HNS planning should be undertaken to ensure that Standing HNS MOU, are developed by the SC with NATO and PfP countries to complement general defence planning work. Once planning commences for a specific operation, exercise or COP, then the Standing HNS MOU is applicable for all missions. If a Standing HNS MOU does not exist, then other documents should be reviewed for applicability. If follow on HNSA are required, actions must be taken to conclude these arrangements to fully support the NATO Commander s mission. 0133. It is important for HNS planning to be fully integrated with the logistics planning process; as the latter matures, continuing analysis will refine the logistic concept for a given contingency plan, operation or exercise. Planning for the HNS portion of the overall logistics concept for an operation requires good co-ordination between the NATO planners, HN(s) and SN(s) throughout the series of logistic planning conferences which precede the operation. Non-NATO SNs should take part in the planning process at the earliest possible stage in order to permit them to identify their HNS requirements to the HN and NATO Commander. Co-operation by all participants will allow HNS planning to proceed in concert with the operational plan. 0134. Movement Planning: HNS planners should coordinate closely with movement planners in order to ensure that movement related Reception, Staging and Onward Movement (RSOM) requirements are taken into account and are provided for through 1-10
HNS to the greatest extent possible. Details for movement planning are contained in AJP-4.4. 0135. Medical Planning: The medical plan must provide for medical capabilities through a balance of a deployed medical force structure and HNS, taking into account the size of the deployed force and the assessed risk. For political, ethical and legal reasons, the provision/acceptance of medical HNS is subjected to many technically specialised and highly sensitive considerations. Medical staff must be actively involved in the entire process of HNS development. Co-ordination between HNS and medical planners is therefore essential in order to ensure an acceptable standard of medical care provided through the mission. Detailed medical HNS considerations will be found in AJP-4.10. 0136. Infrastructure Planning. Infrastructure planning evaluates operational and logistics requirements against existing infrastructure. Shortfall to the requirements may be met by organisational re-arrangements, HNS, contractors, engineer support, and/or other arrangements. HNS infrastructure will be required particularly to facilitate RSOM. 0137. Logistic Support Planning. AJP-4.9 describes the various modes of multinational logistic support that a commander has at his disposal. These include support by nonmilitary means, such as Third Party Logistic Support Services (TPLSS). HNS planning must ensure that the HNS requirements generated by such means are taken fully into account. 0138. HNS Planning for Service Components. Land forces require HNS primarily to facilitate RSOM. Air forces require HNS to provide bed down services and support flight operations. Maritime forces have their own unique HNS requirements that focus on port services and will usually state their requests using a Logistic Request (LOGREQ) signal. Planning considerations specific to service components can be found in ALP- 4.1, ALP-4.2 and ALP-4.3. The supplement to ALP-4.3 is especially useful to HNS planning for deployed air forces. 1-11
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INTRODUCTION CHAPTER 2 RESPONSIBILITIES AND ASSOCIATED AUTHORITY 0201. The NATO Commander has a central role in developing HNSA as part of the planning process. HN(s) also share this responsibility. An effective HNS plan is generally dependent on NATO Commanders, HN(s) and SN(s) actively and constructively participating in the process. However, responsibility for initiation and coordination of the HNS planning process rests with the designated NATO Commander. RESPONSIBILITIES AND AUTHORITIES OF THE NATO COMMANDER 0202. During the HNS planning process all levels of NATO Commanders could be involved. In this chapter, the term NATO Commander is used in the generic sense because the levels of command can vary, depending on the situation. The appropriate level for each stage of the planning process and the relevant situations are clarified in Chapter 3. The NATO Commander has the following authorities and responsibilities: a. The NATO Commander must inform the HN and SN of the appropriate POC for HNSA development at the earliest opportunity. b. The NATO Commander will play an initiating role in HNS planning when developing contingency, crisis and exercise planning. In such cases, he will: (1) draft the HNS Request, thereby initiating the HNS planning process; and (2) negotiate the HNS MOU with the HN. c. The NATO Commander is responsible for HNS planning, to include negotiation with the HN and conclusion of a HNS MOU. However, [when possible,] the NATO Commander should consult with identified SN(s) prior to conclusion in order to facilitate their eventual accession to the MOU. d. In conjunction with the HN, the NATO Commander will form and co-chair a JHNSSC. e. The NATO Commander should provide advice and guidance to non-nato nations who may not be familiar with the HNS planning process. 2-1
f. The NATO Commander will, once SN(s) are identified, invite their accession to the MOU. g. The NATO Commander will identify those projected costs, which are considered both eligible and affordable for NATO common funding. He will ascertain the adequacy of such funding and will seek additional funding to cover any shortfalls. He will also identify those projected costs that can be expected to be paid by either direct national funding or multinational shared funding. h. The NATO Commander will arrange requisite financial authorisation by the appropriate NATO authorities/funding Committees. i. The NATO Commander will consolidate all costs considered both eligible and affordable for NATO common funding for submission to the appropriate Funding Committees in the context of an operational plan (OPLAN), financial annex or an operational (or exercise) budget. j. The NATO Commander will ensure financial reimbursement to the HN for HNS, which is to be funded through common funding. k. The NATO Commander will, in consultation with the HN, establish the format, content and submission frequency of reports on the HNS assets, which are designated and agreed by a HN for the support of forces under NATO command. l. The NATO Commander will inform SN(s) on the availability of HNS assets. m. The NATO Commander has the authority to redistribute specific HNS assets committed by HN for the support of the forces under his command. Redistribution authority is governed by the principles of policies laid down in MC 319/2 n. The NATO Commander will prioritise and deconflict the provision of HNS during implementation. RESPONSIBILITIES AND AUTHORITIES OF SUPPORTING NATION(s) 0203. The SN(s) have the following responsibilities and authorities: a. The SNs must inform the NATO Commander and the HN of the appropriate POC for HNSA development at the earliest opportunity. b. SN(s), once identified, will review the MOU and/or Technical Arrangement (TA) developed by the NATO Commander and respond with a Note of Accession (NOA) or a Statement of Intent (SOI). 2-2
c. SNs will nominate and send authorised representatives to participate in the JHNSSC in order to develop the TA and JIA(s), as appropriate. d. SN(s) should notify the HN and the NATO Commander, of their HNS Concepts of Requirement (COR) and Statements of Requirement (SOR) as soon as possible and of subsequent changes to these requirements as they occur. e. SNs should keep the NATO Commander informed of the status of any bilateral HNSA negotiations, the final status of the document and any significant difficulties. f. SN(s) should give the NATO Commander visibility of any other arrangements in force that may impact on the HNSAs being developed. g. SN(s) are responsible for negotiating and concluding reimbursement arrangements for HNS that is paid by national funding. h. SNs should, when required, provide liaison to the designated NATO Commander during execution of operations or exercises. RESPONSIBILITIES AND AUTHORITIES OF THE HOST NATION 0204. The HN has the following responsibilities and authorities: a. Provide HNS to the greatest extent possible on the basis of national legislation, national priorities and actual capabilities, to meet the commitments made in the HNSA. b. The HN must inform the NATO Commander and the identified SNs of the appropriate POC for HNSA development at the earliest opportunity. c. The HN should advise SN(s) and the NATO Commander of its capability to provide HNS against both specific and generic requirements. This might be done by publishing a HNS Capability Catalogue or simply providing an update to the Capability Catalogue Database once it has been established 1. The Capability Catalogue should contain an overall summary of nation s available HNS capabilities and provide information, including POCs, on: - reception facilities (sea and airport of debarkation/embarkation, logistics over the shore sites and equipment holding areas); 1 It is intended to develop a database of available HNS capabilities within the Logistic Functional Area Services (LOGFAS). When achieved, it will eliminate the need for a separately published HNS Capability Catalogue. 2-3
- air/naval operating base facilities; - staging and marshalling facilities; - support areas (supplies, medical, transportation, facilities, communications, rear area protection, billeting and messing); - movement operations. d. The HN will advise SN(s) and the NATO Commander of significant changes in capabilities as they occur. e. The HN will ensure the maximum possible degree of co-ordination and cooperation between their military and civil authorities in order to make the best use of limited HNS resources. f. The HN should review, to the maximum extent possible, its plans and legislation to facilitate the use of civil resources as early as possible 2. g. The HN should provide liaison to the JFC, including to the MJLC HNSCC if established. h. The HN will with respect to HNS MOU: (1) consider and reply to the HNS Request from the NATO Commander, thereby initiating the HNS planning process; and (2) negotiate and conclude the HNS MOU with the NATO Commander. i. The HN will, in conjunction with NATO Commander, form and co-chair a JHNSSC. j. The HN will provide a price list for agreed support to the NATO Commander and SN(s). k. The HN will retain control over its own HNS resources, unless control of such resources is released to the NATO Commander. 2 Civil Emergency Planning Ministerial Guidance 2-4
CHAPTER 3 THE HOST NATION SUPPORT PLANNING PROCESS INTRODUCTION 0301. This chapter outlines the activities involved in a staged planning process to ensure development of robust HNS to meet the needs of the operation/exercise. It also introduces templates for the various documents used. The templates are not prescriptive, but are offered as examples to assist NATO and nations in their preparation. 0302. A five-stage planning process provides the most suitable planning framework (identified as Stages 1 to 5). The various stages reflect the level at which activity is undertaken and products are produced. Consistent with the need for a flexible approach, this planning process can be adapted to meet the needs of the operation/exercise concerned. 0303. An overview of the key aspects of each stage and where they fit in the logistics/operational planning process is outlined below. NATO Commanders and nations identified as potential HN(s) are encouraged to embark on Stages 1, 2 and 3 at the earliest opportunity in order to develop useful generic HNSA in readiness for future operations/exercises and/or COP(s). a. Stage 1. As a product of Mission Analysis, the NATO Commander first identifies the requirement for HNS in very broad terms to support plans being drafted, taking into consideration the HNS requirements of the SN(s) where these can be identified. The NATO Commander will then send a HNS Request (HNS REQ) to the prospective HN(s) as the first notification of the requirement. Where possible, the type and magnitude of support required, as well as the HN s general ability and willingness to provide such support is confirmed. Generally, a Memorandum Of Understanding (MOU) is developed with each HN. If a Standing HNS MOU is in existence it is applicable to all NATO operations or exercises and does not require any modifications. If a HNS MOU is developed, it is concluded by the HN and the NATO Commander as the first formal document in the development of the HNSAs. Following MOU signature, the SN(s) are formally invited to accept the provisions of the MOU as the basis for providing HNS to their forces. b. Stage 2. A Concept of Requirements (COR) is called for and submitted to the HN by the NATO Commander and SN(s) respectively, who may undertake preliminary reconnaissance ahead of submitting their COR(s). 3-1
c. Stage 3. The Technical Arrangement (TA) is finalised within the Joint HNS Steering Committee (JHNSSC), which is convened by the NATO Commander and HN, with the participation of SN(s), to address common requirements and procedures for the provision of HNS. Technical and/or Single Service subcommittees may be formed as appropriate to support the JHNSSC. In addition, the JHNSSC plans - in a generic form - what support can be provided by the HN against the COR(s). d. Stage 4. The Statements of Requirements SOR(s) are developed based upon the results of sites surveys coordinated by the JHNSSC, in conjunction with the HN. Following consideration of the SOR(s), the HN confirms its ability to provide the requested HNS and identifies any shortfalls. Once signed they are executable documents, which obligate the signatories and satisfy the specific requirements of the SN(s) e. Stage 5. The Joint Implementation Arrangements (JIA(s)) represent the final stage when more detail is required to effectively implement the HNS plan after confirmation by the HN. NATO COMMANDER LEVEL IN EACH STAGE 0304. Throughout this document, the term NATO Commander is used generically. The following may clarify which level of NATO Commander normally corresponds to each Stage of the process: Stage 1 Stage 2 Stage 3 Stage 4 Stage 5 Strategic Level (Strategic Command) or Operational Level after delegation of authority; Operational Level; Operational Level; Tactical Level; Tactical Level; The Operational Level will be the JFC HQ (or Joint HQ) where one has been designated. The Tactical Level will normally be a Component Command (JFLCC or JFACC or JFMCC) or a deployed NATO Command element and SN Forces. 3-2
DETAILED DESCRIPTION OF THE 5 STAGES OF THE PLANNING PROCESS 0305. Stage 1 - Submission of Host Nation Support Request and Development of the Memorandum of Understanding (MOU). First priority must be to determine whether or not a Standing HNS MOU exists. If not, previous MOU or similar arrangements should be examined to establish their suitability as a basis for further HNSA development. a. General (1) The Memorandum of Understanding (MOU) is the foundation document in the HNS planning process. The MOU represents the formal establishment of the overarching principles for provision of HNS between the SC, the SN(s) and the HN and establishes the basis for follow-on HNS documents. NATO considers these MOU to be politically binding whereas some HN(s) consider them legally binding. The HNS MOU is usually signed by the Strategic Commands. However, this authority may be delegated to a subordinate NATO Commander by a written delegation of authority. (2) On grounds of efficiency and economy of effort, the MOU will normally be negotiated by the SC and the HN. (3) In order to save time and resources the SC should develop Standing MOU with potential HN(s). Standing MOU remove the requirement for specific HNS MOU to be developed for each operation/exercise. b. The Process (1) This process assumes that the decision is taken to use a MOU as the foundation document for the provision of HNS. (2) As development of the operational plan progresses the need for HNS planning will be established. (3) The SC will draft a HNS REQ as soon as the need to conduct an operation or exercise is known. This will happen regardless of whether or not there is a Standing HNS MOU in place. The HNS REQ will summarise the need for HNS and outline the scope of the desired arrangement. Representatives from one or both of the SC (as appropriate) will sign the HNS REQ and forward it to the prospective HN. An example of an HNS REQ is at Annex C. A less formal form and notification of the HNS REQ may be adopted for crisis operations and minor exercises, where either economy of effort or time constraints render a full written request impractical. In such circumstances, an authorised representative of the SC may 3-3